Customer Accounts第 89 / 110 题
Which statement about the new account form for a retail cash account is correct?
a.The customer must sign the form before any trade may be entered
b.The customer's signature is not required, but the form must be approved by a principal of the firm
c.Only the customer's signature is required, not a principal's
d.The form must be filed with FINRA before the first trade
解析
For a standard cash account, the registered representative completes the form and a principal accepts the account; the customer's signature is not a regulatory requirement, although firms often collect one. Customer signatures are required for margin agreements, discretionary authority, and options accounts. New account forms are maintained at the firm, not filed with FINRA.
法律依据: FINRA Rules免费刷完整 110 道题库 — 无需注册。
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